Mr. Pollard serves as the Chief Executive Officer of Intersource Consulting Group, located in New York, overseeing Compliance, Operations and Business Development for ICG. Mr. Pollard is an experienced executive with over 25 years in the financial services industry. He was an integral driver in constructing the online trading platform at Quick & Reilly, while also, at that time, navigating and maintaining the required compliance for that digital arena.
Mr.
Pollard has also held executive and management roles in compliance and
operations with E*Trade, Oppenheimer and Smith Barney.
Don serves as the remote Chief Compliance Officer ("CCO") for broker-dealers & registered investment advisers ("RIA"s).
Mr. Pollard is a graduate of St. Joseph's College with a B.S. in Organizational Management.
He holds the FINRA Series 24, 7, 4, 8, and 63 Licenses.
Mr. Kappotis is the Chief Financial Officer of Intersource Consulting Group,
located in Greater Boston, also serving as Remote FINOP for
broker-dealer clients. With twelve years of rock solid experience in
broker-dealer and investment advisory compliance & accounting, Mr.
Kappotis provides the analytical difference that your firm needs
its consulting group to bring to the table.
Before launching ICG
with Mr. Pollard, Mr. Kappotis served in key management roles at
Boston-area broker-dealers such as Detwiler Fenton & Co. and
Investors Capital Corp., driving both financial & compliance
efficiencies.
After his In-House FINOP role at Detwiler Fenton, Mr.
Kappotis turned the page to regulation - serving as a lead Sales
Practice Examiner for FINRA's Boston District, specializing in financial
examinations, and including pivotal roles in the investigations of
broker-dealers and registered personnel. Therefore, he provides clients
with the inside-track for various FINRA/SEC regulatory perspectives
& expectations.
Mr. Kappotis is a magna cum laude graduate of
Boston College's Carroll School of Management, earning a double-major in
Finance & Accounting.
He holds FINRA Series 27 and 7 Licenses, and the NASAA Series 66 Investment Adviser license.
Litigation Consulting
Expert proficiency in strategy formulation, regulatory compliance management, and new
business
development. Regulatory expertise and analytical talent immediately
transferable to leadership positions as senior manager or executive
consultant. Comprehensive understanding of sophisticated investment
vehicles and financial structures gained from over 13 years with
Financial Industry Regulatory Authority, Inc. (FINRA). JD/MBA/Certified
Financial Planner; Certified Hedge Professional (CHP)
Patrick received his J.D. from New England School of Law an M.B.A from Fairleigh Dickinson University and a B.S. in Finance from Fairfield University.
Boston Bar Association, Massachusetts Bar Association, American Bar Association
Professional Associations & Memberships: The Hedge Fund Group; Certified Financial Planner Board of Standards, Inc Professional Associations & Memberships: The Hedge Fund Group; Certified Financial Planner Board of Standards, Inc